Transcript Document

General Overview:
The new Guide is a resource document to advise supervisors and bargaining
employees regarding employee misconduct and potential consequences
The Guide is not intended to cover every conceivable infraction
The Guide is subject to the terms of the Exempt and Nonexempt
Memoranda of Understanding (MOU) and University policy, applicable to
employee discipline
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Management Responsibilities

Managers and Supervisors have certain responsibilities with regard to
discipline, such as:
− Provide your workforce with a safe, secure and non-disruptive
atmosphere,
− Establish and follow policies and reasonable workplace rules and
regulations; and,
− Apply them fairly and consistently
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Purpose of Discipline
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What does discipline accomplish?:
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To correct behavior
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To punish
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To discourage repetition of conduct
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To persuade an employee to do their job; when other attempts have failed
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To maintain orderly operations
−
To remove the disruptive employee from the workforce; when all other
alternatives have failed
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What’s the Harm in Not Disciplining?

The main reasons include:
 Impact on employees who don’t violate the rules
 Demoralizes employees who do what they are supposed to do
 Others have to pickup the workload
 Gives an employee the false impression that your directions, policies and other
regulations can be ignored
 Insures continuation of repetitive and problematic behavior
 Creates disharmony and disruption within the workgroup
 Precludes ability to discipline later for the same or more serious infractions
without resulting in allegations of favoritism, discrimination or “unfairness”
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Common Terms and Definitions
Coaching
Mitigating Factors
Aggravating Factors
 Facts
 Management Representative
 Weingarten Rules
 Progressive Discipline
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Coaching
Coaching is part of the day-to-day interaction between a
supervisor and an employee who reports to him/her
Is non-disciplinary in nature
The goal of coaching is to verbally communicate to the
employee a behavior or performance expectation in order to
engage their support and compliance
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Mitigating Factors
Circumstance(s) or factors that do not necessarily excuse the
behavior, but should be considered in determining whether to
reduce the consequence associated with the offense.
In other words, information that should be kept in mind when
making a decision.
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Mitigating Factors
Examples can include, but are not limited to:
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Provocation
Weather
Involvement of others who might have contributed to the situation
Impact
Compelling circumstances e.g. family considerations, etc. (reasonable
person standard)
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Aggravating Factors
Are relevant facts and circumstances that increase the severity or
blame on the part of the employee involved.
Examples include:
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Wantonly offensive behavior or actions
Intentional acts
Actively and disrespectfully challenging supervisory instructions
Making threats or using coercion or physical violence
Using abusive language or making malicious statements
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Facts
Just the facts Ma’am, just the facts…” (Det. Joe Friday, Dragnet, circa 1950’s)
A thing that is indisputably the case, or information that can be used to
support a statement or claim.
Facts can only be supported by direct knowledge or information based on
real occurrences, such as: Who, What, When, How, Where and, whenever
possible “eye witness” testimony/statements.
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Management Representative
This is … You !!!
The person with the defined authority and
responsibility to carry out the requirements of
the job; and, who will be expected to do so.
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Management Representative
Should have knowledge of an incident by virtue of their
position and is responsible for taking appropriate action, such
as:
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Investigate and resolve
Report to Sr. Manager, Director and FM HR
Document the incident
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FM HR Staff Relations Role

Act as a resource to Managers/Supervisors

Monitor the application of any policies, laws or MOU
provisions that should be considered

Maintain awareness of what is going on in other areas of FM
and the campus, in order to help ensure equity and
consistency
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Weingarten Rights
The “Right to Representation.” In certain limited
circumstances an employee is entitled to have a union
representative present during a discussion with management.
Bargaining unit employees have the right to request the
presence of a union representative at an investigatory interview
that could result in discipline.
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Weingarten Rights
Steps:
1.
When such requests are made immediately discontinue having any
further discussion with the employee.
2.
Contact FM-HR to obtain further guidance.
3.
Issue any documents as needed without further discussion.
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Progressive Discipline
Is a system of discipline where the consequences increase upon
repeat occurrences
May not begin at the lowest step, depending on the
circumstances and facts of each situation
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Progressive Discipline
Under the new Guide potential disciplinary consequences include:

Oral Reminder
– Lowest form of progressive discipline
– Minor infractions that are the least disruptive to others
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Written Reminder/Letter of Reprimand
– Increasingly progressive discipline
– Used when prior warning has already been given, or
– To address more severe first time problematic behavior.
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Progressive Discipline

1- 5 Day Disciplinary Suspension
A progressively more severe form of discipline
Used when the supervisor has made a concerted effort to
address repetitive and inappropriate behavior or;
When the behavior is so objectionable that it warrants
immediate correction
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Progressive Discipline

Discharge
Removal of the employee from University service
Note:
All suspensions and terminations must be reviewed and approved by your
Director; in consultation with FM Human Resources
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Progressive Discipline
Steps:

Thoroughly investigate the incident in order to determine the
facts.

Meet with the employee privately to remind them of any prior
coaching sessions regarding the same and/or similar behavior.
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a) describe the inappropriate behavior
b) what changes are required
c) the consequences for failing to improve
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Progressive Discipline

Obtain approval from your immediate supervisor of the
disciplinary action taken
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Present the employee with a signed copy of the document
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Provide copies to FM Human Resources immediately
following issuance to the employee
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Forms & Records
Infraction Record
Time and Attendance
Exception Form
Disciplinary Exception Form
Oral Reminder
Written Reprimand
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Infraction Record
An employee’s infraction record consist of 5 parts:
1. Employee Name, Department/Unit
2. Time and Attendance Exceptions Record
3. Medical Certification Requirement Record
4. Disciplinary Exceptions Record
5. Additional Comments
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Time and Attendance Exception Form
Used to document the following:

Tardiness: Less than 60 minutes – three (3) maximum per calendar year
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Unscheduled Absence: Unscheduled absences of 60 minutes or More –
three (3) maximum per calendar year.
Employees are allowed to use a Time & Attendance Exception of 60 minutes or More
to cover a tardiness of 60 minutes or less to the extent that it is available and the
employee has accrued leave for its use; however, such occurrences must be
documented by the supervisor using the disciplinary exception process.
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Disciplinary Exception Form
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Depending on the specific facts of a given situation, it may
be appropriate to refrain from issuing discipline
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When this occurs, supervisors are expected to document
these exceptions
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Disciplinary Exception Process
Steps:
1.
Meet with employee to discuss incident
2.
Based on the facts and mitigating circumstances involved, decide
whether to submit and approve a disciplinary exception on behalf of the
employee
3.
Submit form to the Department Head for review and approval.
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Disciplinary Exception Process
4.
Forward approved Disciplinary Exception Form to FMHR for review,
concurrence and return to originating department supervisor
5.
Distribute approved form to the employee and maintain copy in
departmental files
Supervisors and Managers are expected to document all disciplinary
exceptions
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Oral Reminder Form
–
Minor events, that have minimal impact on the workplace
Written Reprimand
–
Repetitive or severe incidents
All Oral and Written Reminders should be documented and filed in
department files; with a copy to FMHR
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Suspensions
When the Oral Reminder and/or Written Reprimand are unsuccessful, or in
cases where the employee’s conduct or performance has an immediate or
major impact, a Suspension may be warranted
Suspensions must be presented to the employee within 3 working days of
the event.
Disciplinary suspensions will not be issued without review and approval of
the Director, in consultation with FM HR.
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Suspension
Steps
1.
Provide detailed statement of the event, to include all the relevant facts.
2.
The day of incident submit the statement of facts to your Director and
FM HR for review and approval
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Suspension
3.
Once the Director has approved the suspension FM HR will prepare the
suspension document and notify the supervisor when it is ready
4.
Review and provide a copy of the document to the employee after obtaining
their signature.
5.
Return a signed copy of the document to FM HR.
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Discharge
The consequence of last resort that is used after:

Repeated counseling, written reprimand and/or a suspension
 There has been a gross violation of policy, procedure, substantial
financial impact or,
 The behavior presents a significant safety risk to the individual or
others
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Discharge
Steps
1.
Provide a detailed statement of the event to include all the relevant facts
2.
The day of incident submit the statement of fact to the Director and FM HR for
review and approval
3.
Once the Director has approved the discharge, FM HR will prepare and forward
the documents for approval to University Human Resources (UHR).
Once the discharge is approved by UHR, FM HR will notify the Supervisor to discuss
next steps.
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General Considerations

Remember, one’s perception regarding an event, does not make it a fact.
Determine the facts first, before taking disciplinary action.
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Always meet privately with the employee to discuss problematic behavior and
concerns.
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Inappropriate conduct should be addressed by progressive discipline
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Consider mitigating/aggravating circumstances such as:
• History of prior discipline for the same or similar infraction,
• Overall disciplinary record,
• Probation status,
• Whether a safety hazard was created by the action,
• Whether there was a financial loss as a result of the conduct,
• Whether the work of others was delayed; and,
• The totality of the circumstances involved
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Don’t wait until you are fed-up to take disciplinary action. Address problems
when they occur.
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Apply rules and consequences equitably and consistently without discriminatory
or retaliatory intent.
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Provide adequate warning before taking disciplinary action; except when the
conduct does not require prior warning
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Be clear regarding conduct and performance expectations
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Don’t make idle or veiled threats regarding discipline
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Provide and review a copy of the Guide to all new employees
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Frequently Asked Questions
(FAQ)
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Have all workplace rules and policies been replaced by the new Guide?
Rules governed by University policy, the MOU and other workplace rules such as
time and attendance procedures remain unchanged.
If questions arise that are not specifically referenced in the Guide contact FM Staff
Relations.
Will disciplinary actions that occurred prior to March 15 still apply?
Yes – if the action is still active on the employees record then it still applies for the
purpose of progression. Refer to the employees prior infraction record.
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What happens if I elect to take no action at all?
In the event you elect not to take disciplinary action, you must complete and submit
a Disciplinary Exception Form for approval.
What happens if I elect not to report an incident or use the disciplinary exception
process?
Supervisors found to be in violation of the rules will be subject to disciplinary action.
Will the timelines for issuing disciplinary and suspension actions still apply?
Yes – all disciplinary actions must be issued to the employee no later than 10 days
from the date of incident. Suspension actions must be issued within 3 days from the
date of incident.
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If you have additional questions, contact:

Your Manager/Supervisor

FM Human Resources
Sharon Simmons, Assistant Director – X58937
Nancy Yeroshefsky, Associate Director – X53284
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